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Risk & Compliance Manager

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Location: East Peoria, IL, United States
Date Posted: Feb 19, 2020

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Job Description


As a Compliance Manager at Caterpillar, you will manage the business process development, improvement, and ongoing support of Caterpillar’s Enterprise Ethics & Compliance Program within the Resource Industries Segment. You will also manage and provide centralized business resources for business operations to mitigate the risks of fraud and regulatory non-compliance in alignment with Corporate objectives.

Job Duties/Responsibilities may include, but are not limited to:

* Lead the development and ensure implementation of the ethics and compliance program within the RI Segment
* Provide leadership to actively interface, and collaborate with all Compliance Risk process partners and act as an advisor to senior management for interpreting, analyzing, using and effectively responding to compliance information
* Support the RI Segment’s annual Ethics & Compliance Risk Assessment in coordination with the Business Risk Management (BRM) process
* Deliver targeted communications on the Ethics & Compliance Program to the RI Divisions to ensure a strong Culture of Compliance
* Work with the RI Human Resources team to ensure completion of required Ethics & Compliance training (Annual Assessment & Questionnaire, required, job role, leadership) within the RI Divisions
* Coordinate with process partners to identify and prioritize key compliance risks to the RI Divisions and develop action plans to support the most effective integration of compliance processes
* Design, develop, implement, monitor, and report compliance metrics to demonstrate Ethics & Compliance Program effectiveness within the RI Divisions. Provide reports to senior leaders, to the Office of Business Practices and to Risk Owners
* Serve as a key contact for Corporate Risk Based Audits, Compliance Audits, Investigations and other assessments

* Conduct Financial & Operational (F&O) Assessments across the MH&U and SM&T organizations to ensure facility leadership and processes are aligned with Enterprise policies & procedures and Our Values in Action

* Provide visibility of issues/concerns to the Chief Ethics & Compliance Officer, Office of Business Practices, Divisional/Segment leadership, and Risk Owners
* Ensure action plans are executed and sustained to remediate issues identified via Corporate Risk Based Audits, Compliance Audits, F&O Assessments, Investigations and other assessments

* Other functions designated from time to time that supports the Office of Business Practices overall objective of fostering and enhancing Caterpillar’s ethical culture through an effective Ethics & Compliance Program 


Required Qualifications:

* Bachelor's degree in a business related discipline

* 12 or more years of progressively responsible job related experience


Desired Qualifications:


* MBA, Master’s degree in a related field, or certification within one’s chosen field
* Broad company knowledge and an understanding of Caterpillar’s Ethics & Compliance Program, Our Values in Action, and the Enterprise Policies and Procedures
* Excellent interpersonal skills are required in order to deal with sensitive issues, develop others, or persuade others inside and outside the department to take specific action

* Strong analytical skills are required to perform detailed analysis and prepare strategic plans  
* Strong communication skills

* Ability to work independently with team in multiple locations.

* Knowledge of the Caterpillar organization, its products, policies and procedures

Additional Information:

Caterpillar is not currently hiring individuals for this position who now or in the future require sponsorship for employment visa status; however, as a global company, Caterpillar offers many job opportunities outside of the U.S. which can be found through our employment website at

Caterpillar is an Equal Opportunity Employer (EEO)

EEO/AA Employer. All qualified individuals - including minorities, females, veterans and individuals with disabilities - are encouraged to apply.
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Job Info

Feb 19, 2020


United States